RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
R••••• D• W•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 20, 2023 · Leawood, Ks
- O••••••••• • C•• I••• BD affiliatedJan 21, 2004 to Mar 17, 2023 · Kansas City, Mo
- R•• C•••••• M••••••• L•• national BDDec 1, 1999 to Apr 25, 2003 · Leawood, Ks
- O••••••••• • C•• I••• to R•••••• J•••• • A••••••••• I•••left Mar 17, 2023, registered Mar 20, 2023 (3 days) · Affiliated broker-dealer or bank to another
- R•• C•••••• M••••••• L•• to O••••••••• • C•• I•••left Apr 25, 2003, registered Jan 21, 2004 (271 days) · Other
- R••••• D• W••••••• left O••••••••• • C•• I••• for R•••••• J•••• • A••••••••• I••• (registered 2023-03-20)Mar 17, 2023 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address